N.Y. Comp. Codes R. & Regs. tit. 13 § 11.17

Current through Register Vol. 46, No. 50, December 11, 2024

Section 11.17 - Forms

All forms are available on the Department of Law's website at https://ag.ny.gov/forms.

(a) Form ADV.

Uniform Application f or Investment Adviser Registration, parts 1 and 2.

(b) Form ADV-H.

Application for Temporary or Continuing Hardship Exemption.

(c) Form ADV-W.

Notice of Withdrawal From Registration as Investment Adviser.

(d) Form NY-IAQ.

New York Investment Adviser Qualification. (Retired).

(e) Form U4.

Uniform Application f or Securities Industry Registration or Transfer.

(f) Form U5.

Uniform Termination Notice for Securities Industry Registration.

(g) Form NY-IASW.

New York Special Waiver Qualification Under 13 NYCRR 11.7(b).

N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.17

Amended New York State Register July 3, 2018/Volume XL, Issue 27, eff. 7/3/2018

Amended New York State Register December 2, 2020/Volume XLII, Issue 48, eff. 2/2/2021